TSS 16: Data ethics, voice & eComms surveillance

December 10, 2019 4:00 pm

20, Churchill Place, England, E14 5HJ, United Kingdom

Archived In-person

Round the table: ​ Firms:  Avivia, BAML, Blackrock, Credit Suisse, Fidelity, GAM, Janus Henderson, Jeffries, Northern Trust, Renaissance Capital, Santander, Scotia Bank, Soc Gen, State Street, TD securities, UBS, Wells Fargo and Westpac​ Vendors: Digital Reasoning, NICE Actimize, pTools, Relativity Trace​ 25+ people will:​ Discuss the results of JWG’s Surveillance Capability model research findings related to voice​ Review new papers…

TSS 17: SM&CR and Surveillance​

March 12, 2020 4:00 pm

Archived Online

With enough regulatory change to last another decade already, JWG remains committed to collaborating throughout the pandemic. We look forward to a robust on-line discussion with colleagues from Avivia, Blackrock, GAM, Itau Unibanco, Janus Henderson, Northern Trust, RBC, Renaissance Capital, Macquarie, Santander, Scotia Bank, Soc Gen, State Street, TD and Westpac.   Please see the…

TSS19: Post COVID SM&CR surveillance audit readiness

May 28, 2020 4:00 pm

Archived Online

The FCA issued Market Watch 63 with a grave warning of post-COVID surveillance thematic or retrospective review. This confirms the expectations of many last month (minutes attached)  and we are delighted to add it to our meeting's agenda as we discuss the worked SM&CR Surveillance guidance example to define how the deliverables can help firms…

TSS 20: SM&CR Guidance and MAR II/MiFID III

August 6, 2020 4:00 pm

Archived Online

We are making good progress in our 1:1 discussion of policies, controls and the availability of resources and look forward to presenting the conclusions in the context of MAR II / MiFID III. The group met to discuss current regulatory demands on global surveillance functions. It reviewed new BCBS Operational Risk principles and EBA/ESMA suitability…